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R&D Surveys:Advice from the Frascati Manual

National training workshopAmman, Jordan

18-20 October 2010

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Ch 7 FM - R&D Survey Methodology

Statistics on R&D require regular, systematic and harmonised special surveys

Other sources provide info, but:• concepts of R&D used often different from FM concepts

• concepts may change over time

• very difficult to obtain all data for the same period

• difficult to avoid double counting when tracking flows from financial statements and other sources

Estimates are a necessary supplement to surveys • Especially in higher education sector

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Scope of R&D surveys

R&D surveys should identify and measure all financial and personnel resources devoted to all R&D activities in all R&D units

R&D surveys are mainly addressed to R&D-performing units

Chapter 7 of the FM only addresses performer-based surveys

Statistical methodologies and other procedures have to be established to capture all R&D, especially for units in the business enterprise sector with little R&D

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Identifying target population and survey respondents - general

Exhaustive survey not possible in most countries

Constraints include:• number of respondents may have to be restricted to keep

costs down

• R&D survey may have to be taken in conjunction with another survey

• surveys of some groups may require the participation of other agencies with different data needs and hence different questions for respondents

One size does not fit all: every country has different constraints – advice is therefore of general nature

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Identifying target population and survey respondents - business enterprise sector

The enterprise is recommended as the main statistical unit in the business enterprise sector

• Some enterprises perform R&D on a regular basis from year to year, and may have one or several R&D units

• Other enterprises perform R&D only occasionally

It is recommended that all enterprises performing R&D, either continuously or occasionally, should be included in R&D surveys.

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Survey population business enterprise sector – first possible approach

1. A census-based survey of large enterprises and a sample of smaller ones in order to identify R&D performers and request the information from them

• R&D performed in the past in the enterprise is not considered

• this is the approach followed in innovation surveys

• very small enterprises and enterprises in certain less R&D-intensive industries often excluded for cost reasons

• when the sample size is very small, estimates may be less reliable, owing to raising factors

• Method not strictly followed in any country

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Survey population business enterprise sector – second possible approach

2. Try to survey all enterprises known or assumed to perform R&D, based on a register of R&D-performing enterprises

• lists of enterprises receiving government grants and contracts for R&D

• lists of enterprises reporting R&D activities in previous R&D surveys, in innovation surveys or other enterprise surveys

• directories of R&D laboratories• members of industrial research associations• employers of very highly qualified personnel • lists of enterprises claiming tax deductions for R&D.

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Survey population business enterprise sector – joint approach

Recommendation

To include in R&D surveys of the business enterprise sector all firms known or supposed to perform R&D.

To identify R&D performers not known or supposed to perform R&D by a census/sample of all other firms:

• In the industries on the next slide.

• In principle, enterprises in all size classes should be included, but if a cut-off point is necessary, it should be at ten employees.

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Industries to be included

Industry ISIC Rev. 3/NACE Rev. 1

Mining 14

Manufacturing 15-37

Utilities, construction 40,41,45

Wholesale 50

Transport, storage and communication 60-64

Financial intermediation 65-67

Computer and related activities 72

R&D services 73

Architectural, engineering and other technical activities

742

Plus any other industry relevant for the country

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Identifying target population and survey respondents - government sector

Units to include in surveys are:

• R&D institutes.

• R&D activities of general administrations of central or state government, statistical, meteorological, geological and other public services, museums, hospitals.

• R&D activities at the municipality level.

Recommendation: the best way to survey is to send questionnaires to all units known or assumed to perform R&D.

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Identifying target population and survey respondents - PNP sector

The sources for identifying possible survey respondents are mainly the same as for the government sector.

Register information may be less comprehensive and could be completed by information from researchers or research administrations.

This sector may be more relevant for surveys on R&D funding.

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Identifying target population and survey respondents – higher education sector

Recommendation: The surveys and estimation procedures should cover all universities and corresponding institutions, especially those awarding degrees at the doctorate level. Other institutions in the sector known or assumed to perform R&D should also be included.

• Identification generally easy.

• preferable to use smaller units, such as departments or institutes of the university, as statistical units.

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Working with respondents

Questionnaire: simple and short, logical and with clear definitions and instructions

• Optional: simpler survey for smaller units

Test questionnaires on a sample of respondents

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Who is the right respondent?

R&D Manager

Better understanding of R&D and FM norms

But may not be able to supply exact figures

Accountant or personnel manager

May not refer exactly to R&D as defined in FM

But able to supply exact figures

Cooperation of all three may be needed

Useful to identify in advance the person responsible for providing information and for co-ordinating information from smaller sub-units

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Encouraging co-operation

Secure co-operation of respondent

• Make them appreciate the potential uses of the data

• Respect confidential data

• Minimise the response burden

• Share the results (option: customised information)

• Provide technical assistance and contact details

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Estimations

R&D measurement could be done in three stages:

Identification of all specialised R&D units and measurement of their total activity.

Estimates of the non-R&D portions of their activity and subtraction of these estimates from the total.

Estimates of the inputs used for R&D in other units and addition of these estimates to the total.

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Operational criteria

Tools for “translating” theoretical FM concepts into practical questionnaire:

Explanatory notes

Hypothetical examples

Guidance to individual respondents

Documentation on treatment of different cases

Covered in FM

To be covered by data collection agency keeping good documentation is essential

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Estimation procedures

Imputation methods for item non-response

• Use previous answer

• Hot decking (use info from same survey)

• Cold decking (use info from previous survey)

Imputation methods for unit non-response

• Use past R&D data (adjusted for sales or employment growth)

• Impute as a function of the relation to personnel or sales (test with non-response analysis)

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Thank you!

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m.schaaper@uis.unesco.org